Compliance Materials definition

Compliance Materials has the meaning set forth in Section 5.3(b).

Compliance Materials means, as to either Party, such Party’s internal compliance policies and procedures as recorded in such Party’s books and records.

Compliance Materials means the test programs, guides, documentation and other materials identified in the Technology Specific Attachment(s) for use in establishing that Covered Code is a Compliant Implementation, as may be revised by Original Contributor from time to time.

Examples of Compliance Materials in a sentence

• Documentation detailing the steps State Street undertakes in the management of your fund's foreign custody arrangements and the exercise of the duties delegated to it, is provided in State Street's annual Compliance Materials.

• In addition to this Code of Ethics, each GSO Employee is subject to the policies and procedures described in the Manual as well as the other Compliance Materials provided by Blackstone.In addition to the Compliance Materials, you may, from time to time, receive (by email or other form of notice) copies of special regulatory or compliance notices or alerts.

• Compliance Committee Meeting Quarterly Compliance Materials You must not knowingly make any misrepresentations relating to investment analysis, recommendations, actions or other professional activities.

• Compliance Committee Meeting Quarterly Compliance Materials You are strongly encouraged to contact Compliance if you have any questions concerning the receipt or provision of any gifts, meals and/or entertainment from or to a Business Associate or a government employee or official.

• Compliance Committee Meeting Quarterly Compliance Materials In special circumstances, an Access Person may request and receive relief or exemption from a personal trading restriction, requirement or procedure contained in this Code if the action does not negatively affect client trading or violate any regulations.

• Compliance Committee Meeting Quarterly Compliance Materials Individuals who are subject to the Code will be referred to as “Access Persons.” II.

• Compliance Committee Meeting Quarterly Compliance Materials Pre-clearance Procedures If a Securities transaction requires pre-clearance, Securities may be purchased or sold only if you have submitted a written request to Compliance for approval to make the purchase or sale.

• Compliance Committee Meeting Quarterly Compliance Materials Conflicts of interest may arise for Access Persons as well.

• Compliance Committee Meeting Quarterly Compliance Materials The following are not Securities: Commodities, and futures and options on commodities, traded on a commodities exchange, including currency futures.

• Compliance Committee Meeting Quarterly Compliance Materials In accordance with FINRA Rule 3050, all Access Persons who are FINRA registered representatives through Eaton Vance Distributors, Inc.